SEC Staff Statement on Fully Paid Lending

Staff’s letter stated that the staff would not recommend enforcement action to the Commission regarding these programs for six months from issuance of the letter, or until April 22, 2021, to give firms time to come into compliance with the Rule

To read this article, you need to sign in.

You should only be asked to sign in once. Not the case? Click here

New to Regulatory Compliance Watch?

Register now to read this article and more for free.